Compliance - Investment Compliance - Associate
About AQR Capital India
AQR is a global investment firm built at the intersection of financial theory and practical application. We strive to deliver concrete, long-term results by looking past market noise to identify and isolate the factors that matter most, and by developing ideas that stand up to rigorous testing. By putting theory into practice, we have become a leader in alternative strategies and an innovator in traditional portfolio management since 1998.
At AQR India, our employees share a common spirit of academic excellence, intellectual honesty and an unwavering commitment to seeking the truth. We’re determined to know what makes financial markets tick – and we’ll ask every question and challenge every assumption. We recognize and respect the power of collaboration, and believe transparency and openness to new ideas leads to innovation.
We are currently seeking an exceptionally talented individual with three to six years of investment or trading compliance experience to join our Compliance Department.
Your Role
• Monitor and escalate non-adherence to compliance guidelines and rules to senior managers in the compliance department through systems and tools
• Update compliance and investment guidelines in accordance with client requests, trading laws, regulations as applicable to AQR across the globe in different tools
• Responsible for portfolio surveillance and monitoring measures and to escalate appropriately to senior managers when system highlights alerts
• Proactively update compliance systems to reflect business and regulatory changes, including client and regulatory restricted lists
• Support, build and update compliance checklists for all applicable policies and procedures
• Prepare process improvement documentation
What You’ll Bring
• A BA or BS and a minimum of 3-5 years of related experience
• Strong knowledge of equity and derivative investment strategies
• Strong knowledge of guideline monitoring software, Bloomberg, or a similar Order Management and Compliance Monitoring System is a plus
• Thorough understanding of the markets and willingness to learn new and complex investment methodologies
• Understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and UCIT regulations especially in relation to alternative investment strategies is a plus
• C.F.A. or C.P.A. or local equivalent is a plus
Who You Are
• Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet deadlines and exercise sound judgment.
• Excellent oral and written communication skills; must be able to confidently collaborate with various departments within the firm.
• Well-organized and detail oriented.
• A self-starter with the ability to follow through and complete tasks in a highly intellectual, collaborative environment.